- Neuberger Berman (New York, NY)
- …for the firm **Requirements:** + 1 - 5 years of investment advisory or broker - dealer compliance experience + Bachelor's degree required + Experience with ... Neuberger is seeking an Analyst to join the Compliance Team in New York. This person will...New York. This person will report into the Chief Compliance Officer - Central Compliance . In this… more
- SMBC (Jersey City, NJ)
- …regulators as needed **Qualifications and Skills** + At least 15 years of institutional broker - dealer compliance experience, with a minimum of 10 years of ... The Head of Registrations will report to the Head of Employee Compliance with responsibility to lead the Registrations Program across the Americas Division,… more
- SMBC (Jersey City, NJ)
- …duties as required. **Qualifications and Skills** + At least 15 years of institutional broker - dealer compliance experience, with a minimum of 10 years of ... Activities and Contributions Lead will report to the Head of Employee Compliance with responsibility for oversight of the firm's outside business activities, private… more
- SMBC (Jersey City, NJ)
- …Skills** + Undergraduate degree required. + Approximately 1-3 years of relevant broker - dealer compliance and/or registrations experience, preferably within a ... Energetic, eager to learn new skills, and an interest expand knowledge of compliance topics SMBC's employees participate in a Hybrid workforce model that provides… more
- Stelvio Private Wealth (Greenwich, CT)
- …Fargo Advisors Financial Network, LLC (WFAFN), a member of SIPC, and a registered broker - dealer . Role Description This is a full-time entry-level role for a ... Advisors Financial Network, LLC (WFAFN), a member of SIPC, and a registered broker - dealer . Stelvio works with high-net-worth individuals and families, across all… more
- HSBC (New York, NY)
- …in a finance or business related field + Experience in a bank or broker - dealer , covering fixed income and/or foreign exchange markets, or comparable experience. ... Vice President (AVP) in Markets & Securities Services (MSS) Compliance Brand: HSBC Area of Interest: Risk and ...Compliance Brand: HSBC Area of Interest: Risk and Compliance Location: New York, NY, US, 10001 Work style:… more
- Multi-Bank Securities, Inc. (Austin, TX)
- …trading and underwriting of institutional, fixed-income securities. As an independent broker - dealer , MBS has been serving institutional investors across the ... trading and underwriting of institutional, fixed-income securities. As an independent broker - dealer , MBS has been serving institutional investors across the… more
- AMP Futures (Chicago, IL)
- …America, JPMorgan Chase , or similar) Experience at an FCM, clearing firm, broker - dealer , or financial institution Familiarity with CFTC and NFA customer funds ... maintaining customer funds integrity , supporting CFTC and NFA regulatory compliance , and continuously improving operational efficiency through strong procedures… more
- Simplicity Group Holdings (Durham, NC)
- …of retirement and financial planning solutions. Simplicity Group and its wholly-owned Broker - Dealer , partners with insurance and investment professionals to help ... of retirement and financial planning solutions. Simplicity Group and its wholly-owned Broker - Dealer , partners with insurance and investment professionals to help… more
- Sourced. (Atlanta, GA)
- …Marketing in leading our marketing initiatives and drive brand growth, for this Broker - Dealer and Registered Investment Advisor company. The ideal candidate will ... experience in digital marketing, social media strategy, and content creation. Any Broker - Dealer and Registered Investment Advisor (RIA) marketing experience is… more
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